ENGLISH VERSION 4.0 Edition 4.0-1_FEB2012

Transcription

1 GENERAL Regulations PART I GENERAL RULES 4.0 Edition 4.0-1_FEB2012 Valid from: 1 March 2011 Obligatory from: 1 January 2012

2 Page: 2 of 37 ACKNOWLEDGMENTS GLOBALG.A.P. is pleased to acknowledge the 1. Members of Crops, Livestock and Aquaculture Sector Committees (SCs) for their dedication and time over the last 4 years. (The members names are available on the GLOBALG.A.P. Website under Governance). 2. Certification Body Committee (CBC) for their input: Det Norske Veritas Italia, NSF-CMi, Intertek Deuschland, Moody International Certification Ltd, and LSQA. 3. Crop Protection Working Group members (the members names are available on the GLOBALG.A.P. Website) for their contribution to the Crops Base Module. 4. Following producers and certifications bodies that voluntarily took part in the trial audits for the All Farm, Crops Base and Fruit and Vegetables Modules V4. Producers: Pinex Cooperative Farmers and marketing society (Ghana), AT Agrícola Ltda. (Chile), Rancho Medio Kilo, S. de P.R. de R.L.(Mexico), Omniversal (Japan), Maruta (Japan), JA Kitahibiki Cooperative (Japan), Matsumoto Farm (Japan), Driscolls (USA), Werner Marquard of Altenmedingen (Germany). Certification Bodies: Africert, NSF-CMi, NORMEX de Michoacán, SGS Japan, Control Union Japan, DNV Japan, Primuslabs, SGS Germany. 5. National Technical Working Groups in more than 30 countries to ensure global applicability; 6. Government and non-government Organisations that took part in the revision process. 7. Board members who adopted the GLOBALG.A.P. Integrated Farm Assurance Scheme V4.0-Oct10 (in alphabetical order) Andrea Artoni Conad/Coopernic Josse de Baerdemaeker VBT Hugo Byrnes Ahold Jorge Hernandez US Food Service Horst Lang Globus SB Warenhaus Holding Joan Mir ANECOOP Spain Carlos Perez Marchelot Bert Urlings Vion Food Group Richard Yudín Fyffes Johann Züblin Migros-Genossenschafts-Bund and last but not least, GLOBALG.A.P. would like to thank all the GLOBALG.A.P. members and nonmembers for their continued support.

6 Page: 6 of 37 ANNEX I.3 GLOBALG.A.P. GUIDELINE ON PARALLEL PRODUCTION AND PARALLEL OWNERSHIP DEFINITIONS CHANGES REGARDING VERSION LIMITATIONS TO THE ELIGIBILITY FOR PP/PO PP/PO FOR PRODUCER GROUPS REGISTRATION RULES FOR PMU AND PHU IDENTIFICATION OF PRODUCERS REGISTERED FOR PP/PO ADDITIONAL REQUIREMENTS FOR PRODUCERS WITH PP/PO... 34

7 Page: 7 of 37 1 INTRODUCTION This document describes the certification rules for any party seeking certification against a GLOBALG.A.P. Standard (Integrated Farm Assurance, Compound Feed Manufacturing, Plant Propagation Material, Chain of Custody, etc.), unless otherwise indicated in the Standard-specific Introduction. Rules for benchmarked schemes are explained in the GLOBALG.A.P. benchmarking regulations. The term shall is used throughout this document to indicate those provisions which, reflecting the requirements of GLOBALG.A.P., are mandatory. 2 NORMATIVE DOCUMENTS The following normative documents (and any other documents released as normative) are relevant to all applicants and GLOBALG.A.P. Certificate holders seeking certification: a) GLOBALG.A.P. Certification and Sublicense Agreement: Contract between the CB and the producer. Sets legal framework in order to be granted the GLOBALG.A.P. Certification. b) GLOBALG.A.P. Certification and License Agreement: Contract between the CB and FoodPLUS. c) GLOBALG.A.P. Control Points and Compliance Criteria (CPCC): Document that sets the compliance requirements for producers. NOTE: Guidelines included in the CPCC document to guide producers to comply with the requirements are not normative documents. d) GLOBALG.A.P. Checklist Integrated Farm Assurance: This document is used for all inspections and self-assessments e) GLOBALG.A.P. Checklist Producer Groups and Multisites with QMS: Sets requirements for quality management systems f) National Interpretation Guidelines. Gives clarification and adaptation of the CPCC to the relevant country. Only available for countries where approved by the respective Sector Committees. These become obligatory for use as soon as they are approved and published. g) GLOBALG.A.P. General Regulations (this document): Defines how the certification process works as well as the requirements for quality management systems and related issues. 2.1 Document Control a) The latest versions of all normative documents can be downloaded free of charge from the GLOBALG.A.P. Website. b) Language: Original documents are in English. GLOBALG.A.P. documents will be translated into other languages and published on the GLOBALG.A.P. Website. Once published, these official GLOBALG.A.P. documents will be the only ones that may be used for certification in that language. In case of discrepancy between translations, the English version shall prevail. c) After a thorough translation review by GLOBALG.A.P., the relevant Sector Committees may grant normative status to translated standard documents on a case-by-case basis. This status will be indicated on the documents. d) For detailed information of the modifications, please contact the GLOBALG.A.P. Secretariat for the document history. e) Changes to documents. 1. Normative documents are identified with a unique document code and a version number and date. 2. The date in the version name indicates the date of publication of the document. The date in the Edition Update Register indicates the date when the document comes into effect. 3. Version number: A change in the first or second digit (e.g. change from 3.x to 4.0; or 4.0 to 4.1) indicates a version change and affects the accreditation of the standard. A change in other digits (e.g. change from 4.0 to 4.0-1) indicates updates that do not affect the accreditation of the standard. When the changes do not affect the accreditation of the

8 Page: 8 of 37 standard, the version will remain 4.0 and edition update shall be indicated with 4.0-x (e.g."4.0-1"). 4. Updates can be made independently in the GR and CPCC documents, but a version change will affect all normative documents. 5. The updates will be sent to all GLOBALG.A.P. approved CBs as official communications. It is the responsibility of the CBs to inform their clients of such updates. 6. Modifications to normative documents are indicated in the Editions Update Register that is published separately. 3 CERTIFICATION OPTIONS Applicants can apply for certification under any of 2 options (individual or group certification under GLOBALG.A.P. or a benchmarked scheme). The options are based on the constitution of the legal entity applying for certification. The assessment process for each of these options is described under Section Option 1 Individual Certification a) Individual producer applies for certification (GLOBALG.A.P. or a benchmarked scheme). b) The individual producer will be the certificate holder once certified Option 1 Multisite without Implementation of a QMS a) Individual producer or one organization owns several production locations or management units that do not function as separate legal entities Option 1 Multisite with Implementation of a QMS (see Part II) a) Individual producer or one organization owns several production locations or management units that do not function as separate legal entities, but where a QMS has been implemented. b) In this case the rules of the General Regulations Part II QMS Rules must apply. 3.2 Option 2 (see Part II) a) A producer group applies for group certification (GLOBALG.A.P. or a benchmarked scheme). b) The group, as a legal entity, will be the certificate holder once certified. c) A group must have a QMS implemented and comply with rules set out in the General Regulations Part II QMS Rules. 3.3 Benchmarked Schemes The categories for certification under benchmarked schemes are explained in the GLOBALG.A.P. benchmarking regulations. 4 REGISTRATION PROCESS 4.1 Certification Bodies/ Farm Assurer* a) The applicant shall, as a first step, choose a GLOBALG.A.P. approved certification body. Contact information on approved and provisionally approved CBs is available on the GLOBALG.A.P. Website. It is the responsibility of the applicant to verify whether the chosen CB is approved for the relevant scopes. b) The applicant must register with an approved CB or farm assurer as the first step towards obtaining a GLOBALG.A.P. Certificate. Unless the applicant has assigned a farm assurer, the CB is by default the Farm assurer and is responsible for registration, data updates, and collection of fees. c) GLOBALG.A.P. approved farm assurers are organizations (e.g. CB, producer group organizations, standard owners, consultants, etc.) that have signed a license agreement with GLOBALG.A.P. and acquired the right from producers to upload and/or register these producer

9 Page: 9 of 37 activities in the GLOBALG.A.P. Database. The service includes the first registration and any subsequent modifications as well as settings of links in the database. The approved farm assurer must be granted these rights in writing from the producer or other legal entity in the GLOBALG.A.P. System. *More information on farm assurers can be obtained in the farm assurer agreement available from the GLOBALG.A.P. Secretariat on request. 4.2 Registration General a) The application must cover at least the information detailed in Annex I.2 (GLOBALG.A.P. registration data requirements). By registering, the applicant commits to comply with the obligation set in the Annex, including: (i) Compliance with the certification requirements at all times. (ii) Payment of the applicable fees established by GLOBALG.A.P. and by the CB. (iii) Communication of data updates to the CB. (iv) The terms and conditions of the Sub-License and Certification Agreement b) This information will be used by GLOBALG.A.P. to supply the applicant with a unique GLOBALG.A.P. Number (GGN), which will be used as a unique identifier for all GLOBALG.A.P. activities. The GGN identifies the applicant and is not related to the product or certification status. c) Any objective evidence found that indicates that the applicant has been misusing the GLOBALG.A.P. claim shall lead to the exclusion of the applicant from certification for 12 months after evidence of misuse. In addition, the applicants will be listed and the list must be checked before registration in the database. Any case of misuse shall be communicated to the GLOBALG.A.P. members. d) Confidentiality, data use and data release: (i) During registration applicants give written access to FoodPLUS and the certification (ii) bodies to use the registration data for internal processes and sanctioning procedures. All data in the GLOBALG.A.P. Database is available to GLOBALG.A.P., the certification body and farm assurer, which the producer or producer group is working with, and can be used for internal processes and sanctioning procedures. (iii) Minimum and obligatory data release level for all sub-scopes (and scopes in case of Aquaculture): The GGN, registration no., GLOBALG.A.P. Certificate no., scheme, version, option, CB, products and status, produce handling/processing declaration, number of producers (in Option 2), country of production and destination, Production Management Units and Produce Handling Units as well as information on parallel production and harvest exclusion per product (if applicable) are available to the public. In addition, every certificate holder s company name and address is available to registered industry market participants including GLOBALG.A.P. members. (iv) If an applicant (or member of a group) does not agree to the minimum release, the applicant is not in agreement with the Sub-License and Certification Agreement and cannot be certified, nor belong to a producer group seeking certification. (v) No data other than in point (iii) can be released by GLOBALG.A.P. or CBs to any other party without written consent of the applicant. (vi) Information on the sector-specific requirements is included in the Data Use and Release Agreement on the website. e) The service contract between the CB and producer may be valid for up to 4 years, with subsequent renewal for periods of up to 4 years. f) An applicant: (i) May not register the same product with different CBs. (ii) May not register the same product with different certification options (e.g.: It is not possible to register salmon under both Options 1 and 3). (iii) May register different products with different CBs and/or different certification options (e.g.: It is possible to register apples under Option 1 and cherries under Option 2, apples with one CB and cherries with another CB or both crops with the same CB.)

10 Page: 10 of 37 (iv) May not register production management units (PMU) or group members in different countries with any CB. The GLOBALG.A.P. Secretariat may grant exceptions on a case-by-case basis or within national interpretation guidelines. g) Production management unit (PMU) is a production unit (can be a farm, field, orchard, herd, greenhouse, etc.) defined by the producer for units where segregation of output (agricultural products) is intended and all provisions have been made and put in place to keep separate records and prevent mixing in the case of parallel production. PMUs that can be considered to operate independently (based on factors such as geography, management, storage facilities, etc.) shall be registered in the GLOBALG.A.P. Database and indicated on the certificate Registration with a new CB a) When a producer that has already been registered, changes CB or applies to a new CB for certification of a different product, the producer must communicate the GGN assigned by GLOBALG.A.P. to the new CB. Failure to do this will result in a surcharge of the registration fee of EURO 100 to an Option 1 producer and EURO 500 to an option 2 producer group. b) Certificate holders who are sanctioned cannot change CB until the outgoing CB closes out the corresponding non-conformance or until the sanction penalty period is over. c) Individual producer members of a producer group are not allowed to leave the group and register with another group (for the products registered) if there is any pending sanction on the producer issued by the group, or there are any issues relevant to the producer raised by the CB that have not been closed out. 4.3 Acceptance a) For the registration to be accepted, the applicant must satisfy all the following conditions: (i) Submit to the CB the relevant application that shall include all the necessary information. The applicant shall have formally committed to comply with the obligations indicated above (ii) Sign acceptance of the Sub-License and Certification Agreement with the CB, OR the applicant shall explicitly acknowledge the receipt and the inclusion of the Sublicense and Certification Agreement with his/her signature on the service contract/agreement with the CB and the CB must hand over a copy of the Sub-License and Certification Agreement to the producer (iii) Be assigned a GLOBALG.A.P. Number (GGN) (iv) To pay the GLOBALG.A.P. registration fee, as explained in the current GLOBALG.A.P. fee table (available on the GLOBALG.A.P. Website) b) The registration and acceptance process must be finalized before inspection can take place. c) For first registration: the CB shall confirm the acceptance of the application and provide the applicant with the GGN within 14 calendar days from receiving the completed application. 4.4 Application and Certification Scope a) Any producer of primary agricultural products covered by the GLOBALG.A.P. Standards may apply for GLOBALG.A.P. Certification. b) For GLOBALG.A.P. Certification, the term producers is defined as follows: A person (individual) or business (individual or producer group) who is legally responsible for the production of the products relevant to the scope, and who has the legal responsibility for the products sold by that farming business Standards covered by GLOBALG.A.P. Certification: a) Only products covered by the GLOBALG.A.P. product list, published on the GLOBALG.A.P. Website, can apply for certification. b) GLOBALG.A.P. Certification covers the controlled production process of primary products and does not cover wild/catch, wild fish/catch or crops harvested in the wild. c) Refer to the Standard-specific Rules (published with the CPCC) for possible exceptions to the General Regulations contained in this document and for new standards released.

11 Page: 11 of All Standards (i) Producers cannot receive certification for the production of products that are not produced by them. (ii) Parallel production/ownership (of certified and non-certified products) is possible when additional rules are implemented. See Integrated Farm Assurance: Fruit and Vegetables (i) GLOBALG.A.P. Certification covers fruit and vegetables used for fresh, cooked or processed consumption by humans. Vegetables used solely for medicinal or aromatic purposes cannot be certified Integrated Farm Assurance: Other Crops (i) Combinable Crops: GLOBALG.A.P. Certification covers crops for cooked or processed consumption by humans or animals or for use in the industry. (ii) Coffee (green) and Tea (iii) Flowers and Ornamentals Integrated Farm Assurance: Livestock Scope (i) GLOBALG.A.P. Certification covers all livestock (see GLOBALG.A.P. product list on GLOBALG.A.P. Website) present on the farm as registered per PMU Integrated Farm Assurance: Aquaculture Scope (i) GLOBALG.A.P. Certification covers all production stages of finfish, crustaceans and molluscs (see GLOBALG.A.P. product list on GLOBALG.A.P. Website) present on the farm as registered per PMU Compound Feed Manufacturing (i) GLOBALG.A.P. Certification covers the commercial manufacturing of compound feed for the feeding of livestock and aquaculture species as covered by the Integrated Farm Assurance Standards Plant Propagation Material (i) GLOBALG.A.P. Certification covers the production of propagation material (see GLOBALG.A.P. definitions on the website) for the Integrated Farm Assurance Crop scopes Applicable CPCC scopes and modules in Integrated Farm Assurance a) It is not possible to certify the respective sub-scope without also verifying compliance to the applicable scope. The inspection of compliance criteria of the scope must be interpreted according to the sub-scope applied for. Any certification applied for that introduces additional sub-scopes into an existing certificate must have the scope inspected, taking into account the additional sub-scopes concerned. b) The scopes are automatically coupled to the sub-scopes according to the choice of subscopes applied for. For more information on the structure and modular approach, please read the introduction to the CPCC document. The certification of: (i) Poultry automatically requires compliance with the All Farm Base and the Livestock Base. (ii) Calf/Young beef and Dairy automatically requires compliance with the All Farm Base, Livestock Base and the Ruminant Base Module. (iii) Tea automatically requires compliance with the All Farm Base and the Crops Base. (iv) Atlantic salmon automatically requires compliance with the All Farm Base, Aquaculture Module.

12 Page: 12 of Parallel Production (PP) or Parallel Ownership (PO) Refer to Annex I.3 GLOBALG.A.P. Guideline on Parallel Production and Parallel Ownership for clarification of rules Parallel Production (PP) Parallel production of certified and non-certified products of the same species (e.g. bananas, salmon or pigs) is not possible on a single site on individual producer level (Option 1 or Option 2 member). Exception exists for Livestock as described in the relevant Livestock Base CPCC (LB 3.3 and 7.2.3) Parallel production of certified and non-certified sub-species of a products (e.g. cherry tomatoes and roma tomatoes) is possible under all options and the PMUs shall be specified Parallel Ownership (PO) This refers to the situation in which certified and non-certified product (the same product) are owned (purchased) by a producer at one time Basic rules In order to qualify for parallel production or parallel ownership of GLOBALG.A.P. certified and non-certified products (of the same accepted products), the producer : a) Shall register in the GLOBALG.A.P. Database for Parallel Production/Ownership (PP/PO) (which will be visible on the GLOBALG.A.P. Certificate and via online certificate validation) Where a group member implements PP/PO, the group shall register for PP/PO, b) Shall satisfy all of the following conditions for certification: (i) Different PMUs must be specified within the legal entity (at least one aggregated PMU for all certified processes and one other aggregated PMU for all the noncertified processes) (ii) Parallel production within the same PMU is not possible. Individual producers (Option 1, Option 1 Multisite with or without QMS, and individual producers within a producer group) for each registered product cannot have GLOBALG.A.P. and non-globalg.a.p. products produced within the same production management unit (PMU) (iii) All products are traceable to the respective PMU(s) on the farm and when leaving the farm (certified and non-certified products are fully segregated at all times). The traceability and recording system shall reflect the implementation of parallel production. See specific requirements for Livestock (LB 3.3) (iv) Parallel ownership (when non-certified products are sourced) within the same PHU, however, is possible (v) The Traceability and Segregation section in the All Farm Module (AF 12) shall be applicable (vi) Product from a non-certified PMU shall not be moved to certified PMUs (e.g. in aquaculture production) Note: Parallel production is not applicable to producer groups where some members are not registered for GLOBALG.A.P. Certification. However, if the group buys non-certified products, Parallel Ownership is applicable. c) The producer registered for PP/PO shall consider methods to increase traceability to the identified PMUs or PHUs. (i) Acquire an own GLN with capacity to create sub-glns from the national GS1 organization. Assign a sub-gln to each specified PMU and PHU where applicable and register all products to be certified with the respective PMU/sub- GLN(s) in the GLOBALG.A.P. Database. All non-certified products and PMUs shall be registered with GLOBALG.A.P.

13 Page: 13 of 37 (ii) All certified products leaving the farm are labeled with the assigned sub-gln that identifies the certified PMU they come from. (Non-certified products may be labeled with the sub-gln of the specified PMU(s) Burden of Proof a) In the case of information (e.g. MRL exceedance, microbial contamination, etc.) bearing potential impact on the certified status/claim is transmitted to the GLOBALG.A.P. Secretariat about a GLOBALG.A.P. certified producer, it is the responsibility of the producer to refute the claim by verifying and providing evidence for compliance with the GLOBALG.A.P. Standard. In these cases: (i) If the CB conducts the investigation, the findings and actions taken will be reported to the GLOBALG.A.P. Secretariat, or (ii) If the retailer or owner of the product conducts their own investigation, they shall report the findings back to the GLOBALG.A.P. Secretariat who in turn will inform the CB to take appropriate action. (iii) GLOBALG.A.P. will give the producer a certain amount of time to do this. (iv) If the CB does not deem the supplied evidence by the legal entity (producer or PHU) adequate, the CB will issue a sanction and will follow the normal sanctioning procedures as described in GLOBALG.A.P. General Regulations. b) Producers will have to have full traceability in place this could include mass balance, Chain of Custody Certification and any others records needed to verify and check the case. In case the evidence includes laboratory analyses, accredited laboratories (ISO 17025) and independent sampling (according to the rules as set out in the relevant CPCC) must be included. 5 ASSESSMENT PROCESS In order to achieve certification, a registered party must perform either a self-assessment (Option 1 and Option 1 Multisite without QMS) or internal inspections (Option 1 Multisite with QMS and Option 2) and receive external inspections by the chosen certification body. 5.1 Option 1 Single Sites and Multisites without QMS a) This section is applicable to applicants that are single legal entities (individual producer or company) with single production sites (farm) or multiple production sites that are not separate legal entities and are all centrally managed by the applicant. b) Summary of assessments to be undertaken before certificate is issued (Initial Evaluation) and annually thereafter (Surveillance Evaluations): Selfassessments by producer Externally by the CB Initial Evaluations (first year only) Subsequent Evaluations 1. Entire scope (all registered sites) 1. Entire scope (all registered sites) 2. Announced inspection of entire scope (all registered sites) 1. Announced inspection of entire scope (all registered sites) 2. Unannounced inspection of (minimum 10% of certificate holders) Self-Assessments a) The self-assessment shall: (i) Cover all sites, products and processes under the certification scope and comply with the requirements set in the applicable control points. (ii) Be carried out under the responsibility of the producer. (iii) Be carried out at least annually before the initial or surveillance inspections against the complete checklist (Major and Minor Musts and Recommendations) of all relevant

14 Page: 14 of 37 scope(s) and sub-scope(s) and registered areas. The completed checklist must be available on site for review at all times. (iv) Comments and positive findings during the self-assessment shall be recorded as described by the checklist External Inspections a) The inspection (announced and unannounced) shall be carried out by a CB inspector or auditor (see CB inspector and auditor requirements in Part III) b) The CB shall inspect the complete checklist (Major and Minor Musts and Recommendations) of the applicable scope(s) and sub-scope(s) Announced Inspections (i) Each applicant shall undergo one announced external inspection at the initial assessment and thereafter once per annum. (ii) The inspection shall cover: a) All accepted products b) All registered production locations c) Each registered product handling site/ fish processing (included in IFA) External Unannounced Surveillance Inspections (i) The CB shall carry out unannounced surveillance inspections of a minimum of 10% of all certified producers the CB has certified under Option 1. (ii) Unless the GLOBALG.A.P. Secretariat has approved a shortened checklist, the CB shall inspect the Major and Minor Musts of the applicable scope(s) and sub-scope(s). Any non-conformance will be handled in the same way as those found during an announced inspection. (iii) The CB will inform the producer in advance of the intended visit. This notification will normally not exceed 48 hours (2 working days). In the exceptional case where it is impossible for the producer to accept the proposed date (due to medical or other justifiable reasons), the producer will receive one more chance to be informed of an unannounced surveillance inspection. The producer shall receive a written warning if the first proposed date has not been accepted. The producer will receive another 48- hour notification of a visit. If the visit cannot take place because of non-justifiable reasons, a suspension of all products will be issued. 5.2 Option 2 and Option 1 Multisite with QMS a) This section is applicable to groups and individuals with multiple sites who have implemented a QMS and who comply with the requirements set in PART II. b) The applicant is responsible for ensuring that all producers and PMUs under the certification scope comply with the certification requirements at all times. c) The CB does not inspect all producers or PMUs, but just a sample. Thus it is not the responsibility of the CB to determine the compliance of each producer or PMU (this responsibility rests with the applicant). The CB must assess whether the applicant s internal controls are appropriate. d) Summary of assessments to be undertaken before a certificate is issued (Initial Evaluation) and annually thereafter (Surveillance Evaluation): Initial Evaluation (in the first year) Subsequent Evaluation Internally by the producer group and Option 1 multisite operation with QMS 1. Internal QMS audit 2. Internal inspection of each producer and/or (certified) PMU and/or all product handling units 1. Internal QMS audit 2. Internal inspection of each producer and/or (certified) PMU and/or all product handling units

15 Page: 15 of 37 Initial Evaluation (in the first year) Subsequent Evaluation Externally by the CB First visit1. Announced QMS audit 2. Announced inspection to (minimum) square root of producer members and/or (certified) PMUs + Square root of the total number of central product handling units registered shall be inspected while in operation. Second visit (surveillance) 3. Unannounced (surveillance) inspection to (minimum) 50% square root of producers and/or (certified) PMUs First visit1. Announced QMS audit 2.a) Announced inspection to (minimum) square root of actual number of producers and/or (certified) PMUs 2.b) If no sanction from previous surveillance: Announced inspection to (minimum) square root of actual number of producers and/or (certified) PMUs minus the number of producers and/or (certified) PMUs inspected unannounced during the previous (surveillance) inspection Second visit (surveillance) 3. Unannounced QMS audit to 10% of certificate holders 4. Unannounced (surveillance) inspection to (minimum) 50% square root of the actual number of producers and/or (certified) PMUs + First or second visit: Square root of the total number of central product handling units registered shall be inspected while in operation. Where the produce handling does not take place centrally, but on the farms of the producer members, this factor shall be taken into account when determining the sample of producers to be inspected Internal Assessments a) The applicant shall undertake internal assessments of all producers and/or PMUs to verify and ensure compliance with the certification requirements. b) The internal assessments shall comply with requirements set in Part II and include: (i) A minimum of one internal audit of the QMS shall be carried out by the internal auditor before the first CB audit and thereafter once per annum. (ii) A minimum of one internal inspection of each registered producer PMU and produce handling facility (PHU) shall be carried out by the internal inspector before the first CB inspection and thereafter once per annum c) Self-assessments by each member of the group are only required if it is an internal requirement by the group, but it is not a GLOBALG.A.P. requirement External Quality Management System (QMS) Audit a) The audit (announced and unannounced) shall be carried out by a CB auditor (see CB auditor requirements in Part III) b) The audit (announced and unannounced) shall be based on the QMS Checklist that is available on the GLOBALG.A.P. Website QMS Announced Audits (i) The CB shall carry out one announced external audit of the QMS at the initial assessment and thereafter once per annum QMS Unannounced Surveillance Audits (i) The CB shall carry out additional QMS unannounced external audits on a minimum of 10% of the certified producer groups and multisites annually. (ii) Non-conformance detected will be handled as in an announced audit. Nonconformances will lead to a sanction applied to the whole group or multisite.

16 Page: 16 of 37 (iii) The CB will inform the certificate holder. This notification will normally not exceed 48 hours (2 working days) in advance of the intended visit. In the exceptional case where it is impossible for the certificate holder to accept the proposed date (due to medical or other justifiable reasons), the certificate holder will receive one more chance to be informed of an unannounced surveillance inspection. The certificate holder shall receive a written warning if the first date has not been accepted. The certificate holder will receive another 48-hour notification of a visit. If the visit cannot take place because of non-justifiable reasons, a complete suspension will be issued External Producer or Site Inspections a) A CB inspector or auditor shall carry out the inspections. b) The CB shall inspect the complete checklist (Major and Minor Musts and Recommendations) of the applicable scope(s) and sub-scope(s) during ALL inspections. c) Initial inspection: As a minimum the square root (or next whole number rounded upwards if there are any decimals) of the total number of the producers and production sites in the certification scope must be inspected before a new certificate can be issued (initial certification or inspection by a new CB). d) Surveillance producer inspections: (i) The CB shall carry out announced external inspections of each producer group and multi-site annually. The minimum number of producers to be inspected per certificate holder depends on the outcome of the previous unannounced inspections and QMS audit. (ii) The minimum number of producers/sites to be inspected during a certification cycle shall be equivalent to the square root of the current number of producers/sites; grouped by same type of activities. (iii) The inspections shall be split into two: 50% shall be inspected unannounced during the validity period of a certificate (12 months), and the other 50% during the announced surveillance inspection. (iv) Only if the producers inspected externally have no other sanctions raised in that surveillance inspection, the following regular announced inspection by the CB will be reduced to the square root of the current number of the producers/pmus minus the number of producers/pmus inspected unannounced (providing the findings from the Quality Management System audit carried out at the following regular announced inspection are also favorable to this reduction). Example 1: Applicant X has 25 registered producers/sites. The minimum number of producers/sites to be inspected is 5 for the initial inspection. Six months after the certificate was issued to Group X (full compliance with QMS audit and 5 farm inspections), the CB inspects 3 (50% of 5 = 3) producers unannounced. If the 3 producers show no non-conformances during this surveillance inspection, the CB will only check 2 (5 minus the 3 already inspected) producers during the following regular announced inspection IF the QMS audit during the regular announced inspection does not show any non-conformances. If any non-conformance is raised during the unannounced inspection, Group X will be sanctioned accordingly, and no reduction of sample size will result in the next regular announced inspection. Example 2: In producer group with 50 members during the initial audit 8 members (square root of 50) and during the following surveillance inspections 4 (0.5 x 8) members must be inspected. The total number of inspections in the first year is 12. In the next year, where no non-conformances are detected during the unannounced producer inspection, the CB must inspect 4 producers and later another 4 during the unannounced producer inspections. Example 3: In a producer group with 5 members during the initial audit, 3 members (square root of 5) and during the following surveillance inspections 2 (0.5 x 3) members must be inspected. If in the next year the total number of group members decreased to 4, and no non-conformances were detected during the surveillance producer inspection, still 1 producer must be inspected.

17 Page: 17 of 37 e) Before a certification decision can be made, the square root of the total number of current producer members and PMUs must have been inspected during the last 12 months. 5.3 Inspection timing Initial (First) Inspections a) This section is applicable to an applicant seeking GLOBALG.A.P. Certification for the first time, to an already certified producer changing to a new CB or when adding a new product to the GLOBALG.A.P. Certificate. b) No inspection can take place until the CB has accepted the applicant s registration. c) Each production process for products registered and accepted for certification for the first time must be completely assessed (all applicable control points must be verified), prior to issuing the certificate. d) A product that has not yet been harvested shall not be included in the certificate (i.e. it is not possible to certify a product in the future). e) The applicant must have records and the CB must inspect them, (i) From registration date onwards, and (ii) For at least 3 months before the first inspection takes place. f) Products that are harvested/slaughtered/processed (as part of IFA) before registration with GLOBALG.A.P. cannot be certified Integrated Farm Assurance: Crops (i) The initial inspection shall cover harvesting activities of each product to be included for certification, as well as produce handling if it is included. (ii) Fieldwork can be checked at a different time where feasible, but this is not obligatory. (iii) Alternative timing options may be followed where inspection during harvest time is not possible, i.e. 1 st inspection therefore takes place before or after harvest (though always after registration of the applicant). In these cases, justification for this alternative timing must be noted in the audit report. Examples of justification may be logistics and timing constraints of farmer and/or inspector, variation in harvest dates, etc. Additionally the following constraints need to be followed by the CB: a) Practically, inspection of records and visual evidence require that the inspection must take place as close to harvest as possible for the inspector to verify as many control points as possible. b) If the inspection is made before harvest, it will not be possible to inspect certain control points. As a result either a follow-up visit will be required, or proof of compliance may be sent by fax, photos or other acceptable means. No certificate will be issued until all control points have been verified and closed out. c) If harvest has already taken place at the moment of inspection, the farmer must retain evidence for compliance of control points related to that harvest, otherwise some control points may not be able to be checked and certification will not be possible until the following harvest. d) The CB must make sure that in the sampling for unannounced visits, those producers that did not receive a 1 st inspection or the re-certification inspection during harvest have a greater chance of getting an unannounced inspection during the next harvest (this needs to be conveyed to the farmer when discussing inspection timing). Additionally, the CB must make every effort to carry out the subsequent inspection during harvest. (iv) Multiple Crops: The producer may be seeking certification for more than one crop (concurrent or consecutive crops), and the crops may not all have the same seasonal timing, i.e. harvest of one crop does not necessarily coincide with the harvest of other crops. The requirements above are applicable to crop groupings based on similarities in production systems. The CB shall verify all control points of these groupings, before the product(s) can be added to the certificate.

18 Page: 18 of 37 Example: A visit during pear harvesting is not required when pears are being added to the scope where apples are already included in the certificate. However, the pears can only be added to the certificate once all control points have been verified however, adding spinach to the scope would require an assessment during the spinach harvesting period Subsequent Inspections a) The subsequent inspection can be done any time during an inspection window that extends over a period of 12 months: from 8 months before the original expiry date of the certificate, and (only if the CB extends the certificate validity in the GLOBALG.A.P. Database) up to 4 months after the original expiry date of the certificate. Example: 1st certification date: 14 February 2012 (expiry date: 13 February 2013). 2nd inspection can be at any time from 14 June 2012 to 13 June 2013, if the certificate validity is extended. b) There shall be a minimum period of 6 months between 2 inspections for recertification Integrated Farm Assurance: Crops (i) The inspection shall be done at a time when relevant agronomic activities and/or handling (but not only storage) are being carried out. Inspection timing shall allow the CB to gain assurance that all registered crops, even if not present at the time of inspection, are handled in compliance with the certification requirements. Inspections off-season or when the farming activities are minimal shall be avoided. (ii) When produce handling is included in the certification scope, the produce handling facility(ies) must be inspected when it is in operation at a frequency based on a risk assessment, but at least once every 2 years or when a new CB is used. The risk assessment should take into account the product(s) being packed as well as known food safety incidences related to that product as well as any directives from GLOBALG.A.P. to look at specific points. The CB must keep justification of the reason for the chosen inspection frequency on record. This is applicable for Option 1 producers. Refer to Part III, 5.5 for Option 2) Integrated Farm Assurance: Livestock (i) The registered livestock species must be present on the farm at the time of the inspection. (ii) The inspection timing in 2 certification cycles must take winter and summer conditions into account where applicable Integrated Farm Assurance: Aquaculture (i) The registered aquaculture species must be present on the farm at the time of the inspection. Fallowing dates must be recorded see Aquaculture Base Module. Post harvest handling performed by same legal entity as the farm shall also comply. 6 CERTIFICATION PROCESS 6.1 Non-compliance and non-conformance a) Non-compliance (of a control point): A GLOBALG.A.P. Control Point in the checklist is not fulfilled according to the Compliance Criteria, e.g. the producer does not comply with the Minor Must AF in IFA. b) Non-conformance (of the GLOBALG.A.P. Certification Rules): A GLOBALG.A.P. rule that is necessary for obtaining the certificate (see 6.2) is infringed. c) Contractual Non-Conformances: Breach of any of the agreements signed in the contract between the CB and the producer related to GLOBALG.A.P. issues. (i) CB can impose a suspension of all products.

19 Page: 19 of 37 Case examples: trading with a product that does not comply with legal requirements; false communication by the producer regarding GLOBALG.A.P. Certification; GLOBALG.A.P. trademark misuse; or payments are not made following contractual conditions; etc. 6.2 Requirements to achieve and maintain GLOBALG.A.P. Certification Control Points and Compliance Criteria consist of three types of control points: Major Musts, Minor Musts and Recommendations. To obtain GLOBALG.A.P. Certification the following are required: Major Musts: 100% compliance of all applicable Major Must and QMS control points is compulsory. Minor Musts: 95% compliance of all applicable Minor Must control points is compulsory. Recommendations: No minimum percentage of compliance. Comments shall be supplied for all non-compliant and not applicable Major and Minor Must control points. In addition, comments shall also be supplied for all Major Musts, unless otherwise indicated on the checklist. This is obligatory for internal as well as external assessments Minor Must Compliance Calculation a) For the sake of calculation, the following formula shall apply: { (Total number of Minor Must control point) - (Not Applicable Minor Musts control points scored) } x 5% = (Total Minor Must control point Noncompliance allowable) e.g. (Total number of Minor Must control points/module NA Minor Must) x 5% (122 52) x 0.05 = 70 x 0.05 = 3.5. This means that the total number of Minor Must control point non-compliance allowed is 3.5, which must be rounded down. Therefore this producer may only have 3 Minor Must control points that are non-compliant. 70 applicable Minor Must control points 3 non-compliant Minor Must control points = 67. This gives a compliance level of 95.7%, whereas if 3.5 were rounded up to 4 it would give a compliance level of 94.2%, which would be not compliant with the certification rule. NOTE: A score for example of 94.8% cannot be rounded to 95% (the pass percentage) b) In all cases, after an inspection, the calculation to show compliance (or non-compliance) must be available Applicable Control Points a) The control points to be taken into consideration to calculate the percentage of compliance for Major and Minor Musts depend on the product and certification scope. The applicant shall ensure that each individual site and product comply with the certification requirements. Thus the compliance percentage shall be calculated taking into account all the control points applicable to each site and product. A full checklist shall be completed internally and externally for each individual producer (Option 1), for each producer group member (Option 2) or for each site (Option-1 Multisite) inspection b) In a multisite operation (without QMS), compliance level is calculated for the entire operation in one checklist. Any applicable control point common to all sites (i.e. a packhouse) needs to be taken into account for all sites. c) In a producer group or multi-site with QMS, compliance level is calculated per producer and/or PMU (each producer or PMU must comply with the certification requirements). Any applicable control point common to all producers (i.e. a pack-house or producer group requirements) needs to be taken into account for all producers.

20 Page: 20 of 37 d) The control points that are applicable to several sites, producers or products (e.g.: central pack-house, QMS requirements, etc.) shall be taken into consideration and calculated in each inspection of those concerned sites, producers or products. E.g.: A producer seeking certification for Fruit and Vegetables needs to comply with 100% of applicable Major Musts and 95% of the applicable Minor Musts of the All Farm (AF), Crops Base (CB) and Fruit and Vegetables (FV) modules combined. E.g.: A producer seeking certification for Combinable Crops and Dairy needs to comply with 100% of applicable Major Musts and 95% of the applicable Minor Musts of: o For Combinable Crops: the All Farm (AF), Crops Base (CB) and Combinable Crops (CC) Modules combined. o For Dairy: the All Farm (AF), Livestock Base (LB), Cattle and Sheep (CS) and Dairy (DY) Modules combined. E.g.: A producer group with a central pack-house. The applicable and non-applicable control points of the product handling module shall be added to the control point for each producer. A non-conformance detected at pack-house level shall be considered for each producer. E.g.: The producer seeks certification for green beans and coffee. A non-conformance of a Major Must is detected in the Coffee sub-scope. The Coffee cannot be certified. The green beans can only be certified IF the responsible CB justifies that there is no concern to the integrity of the producer and production as a whole resulting from the Major Must nonconformance in the Coffee sub-scope. E.g.: The producer seeks certification for pigs and vegetables. A non-conformance with one of the Major Musts in the All Farm Base is detected; neither the pigs, nor the vegetables can be certified. 6.3 Certification Decision a) The CB shall make the certification decision within a maximum of 28 calendar days after closure of any outstanding non-conformances. b) Any complaints or appeals against CBs will follow the CB s own complaints and appeals procedure, which each CB must have and communicate to its clients. In case the CB does not respond adequately, the complaint can be addressed to the GLOBALG.A.P. Secretariat using the GLOBALG.A.P. Complaints Extranet, available on the GLOBALG.A.P. Website () 6.4 Sanctions a) When a non-conformance is detected, the CB shall apply a sanction (Warning, Suspension of a product or Cancellation) as indicated in this section. b) Producers cannot change CB until the non-conformance that led to the respective sanction is satisfactorily closed out. c) ONLY the CB or the producer group that has issued the sanction is entitled to lift it, provided there is sufficient and timely evidence of corrective action (either through a follow-up visit or other written or visual evidence) Warning a) A warning is issued for all types of non-conformance detected. b) If there is a non-conformance detected during the inspection, the producer must be served a warning when the inspection is finalized. This is a provisional report that could be overridden by the CB certification authority. c) Initial inspection: (i) Outstanding non-conformances shall be closed within three months from the date of inspection. (ii) If the cause of the warning is not resolved within three (3) months, a complete inspection must be performed before a certificate can be issued. d) Subsequent inspection: (i) Outstanding non-conformances shall be closed within 28 calendar days. (ii) If the non-conformance is against a Major Must, the period given for compliance before suspension is applied will depend on the criticality of the non-conformance in

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